Mar 7, 2022

Ryan Gordon of Fidelity Brokerage Services

DID RYAN MICHAEL GORDON CAUSE YOU INVESTMENT LOSSES? Ryan Gordon Of Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Formerly With Strategic Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Ryan Gordon of Fidelity Brokerage Services? Ryan Gordon (CRD #5174604) who is currently registered with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors and located in Merrimack, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations. Prior to Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Ryan Gordon was associated with Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Gordon Customer Complaint Ryan Gordon has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Ryan Gordon failed to follow his instructions to liquidate a managed account. Ryan Gordon’s customer complaint was denied and, to date, the customer has not taken any further action. Ryan Gordon Red Flags & Your Rights As An Investor Of course, Ryan Gordon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ryan Gordon at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Ryan Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services Due To Ryan Gordon If you have questions about Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Ryan Gordon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Alison Hameline Formerly With Fidelity Brokerage Services

DID ALISON PAYNE HAMELINE CAUSE YOU INVESTMENT LOSSES? Alison Hameline Formerly With Fidelity Brokerage Services Has A Customer Complaint For Alleged Broker Misconduct Who is Alison Hameline formerly with Fidelity Brokerage Services? Alison Hameline (CRD #5452858) who was formerly registered with Fidelity Brokerage Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Alison Hameline Customer Complaint Alison Hameline has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Alison Hameline provided incorrect information about the potential tax liability regarding the sale of a security to fund a managed account. Alison Hameline’s customer complaint was denied and, to date, the customer has not taken any further action. Alison Hameline Red Flags & Your Rights As An Investor Of course, Alison Hameline did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alison Hameline at Fidelity Brokerage Services on alert to review carefully the activity and performance of their accounts and question whether Alison Hameline has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Fidelity Brokerage Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Fidelity Brokerage Services Due To Alison Hameline If you have questions about Fidelity Brokerage Services and/or Alison Hameline and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Ricardo Guimaraes of Morgan Stanley

DID RICARDO FONTANA GUIMARAES CAUSE YOU INVESTMENT LOSSES? Ricardo Guimaraes Of Morgan Stanley And Formerly With Wells Fargo Clearing Services And UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ricardo Guimaraes of Morgan Stanley? Ricardo Guimaraes (CRD #5442981) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Ricardo Guimaraes was associated with Wells Fargo Clearing Services, UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Guimaraes Customer Complaints Ricardo Guimaraes has been the subject of 2 customer complaints that we know about. Both of Ricardo Guimaraes’ 2 customer complaints were settled in favor of investors. Allegations Against Ricardo Guimaraes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged that Ricardo Guimaraes purchased unsuitable investments. Claimant alleged Ricardo Guimaraes sold unsuitable Brazilian bonds in violation of Reg. S. Ricardo Guimaraes Red Flags & Your Rights As An Investor Of course, Ricardo Guimaraes did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ricardo Guimaraes at Morgan Stanley, Wells Fargo Clearing Services, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Ricardo Guimaraes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley, Wells Fargo Clearing Services, and UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Ricardo Guimaraes If you have questions about Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services, and/or Ricardo Guimaraes and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Johnny Guan of Aegis Capital

DID JOHNNY GUAN CAUSE YOU INVESTMENT LOSSES? Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Johnny Guan of Aegis Capital? Johnny Guan (CRD #5711977) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Johnny Guan Customer Complaints Johnny Guan has been the subject of 2 customer complaints that we know about. Both of Johnny Guan’s 2 customer complaints were settled in favor of investors. Allegations Against Johnny Guan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Johnny Guan’ alleged unsuitable investment recommendations, misrepresentations, negligence. Claimants alleged Johnny Guan’s unsuitable investment recommendations, over concentration, unauthorized transactions, breach of fiduciary duty. Johnny Guan Red Flags & Your Rights As An Investor Of course, Johnny Guan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Johnny Guan at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Johnny Guan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Johnny Guan If you have questions about Aegis Capital, National Securities, and/or Johnny Guan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Molly Grubb formerly with Cambridge Investment Research

DID MOLLY MAE GRUBB CAUSE YOU INVESTMENT LOSSES? Molly Grubb Formerly With Cambridge Investment Research Has A Customer Complaint For Alleged Broker Misconduct Who is Molly Grubb formerly with Cambridge Investment Research? Molly Grubb (CRD #5647291) who was formerly registered with Cambridge Investment Research and located in Columbus, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Molly Grubb Customer Complaint Molly Grubb has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Molly Grubb misrepresented the products sold to them. Allegations were made that the products purchased were unsuitable for their risk tolerance and inexperienced investing. The customer complaint filed against Molly Grubb’s former employer Cambridge Investment Research for investment losses caused by the alleged misconduct is pending as of the date of this report. Molly Grubb Red Flags & Your Rights As An Investor Of course, Molly Grubb did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Molly Grubb at Cambridge Investment Research on alert to review carefully the activity and performance of their accounts and question whether Molly Grubb has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cambridge Investment Research also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Cambridge Investment Research Due To Molly Grubb If you have questions about Cambridge Investment Research and/or Molly Grubb and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Osvaldo Gutierrez of NYLIFE Securities

DID OSVALDO GUTIERREZ CAUSE YOU INVESTMENT LOSSES? Osvaldo Gutierrez Of NYLIFE Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Osvaldo Gutierrez of NYLIFE Securities? Osvaldo Gutierrez (CRD #5755380) who is currently registered with NYLIFE Securities and located in Greenville, South Carolina is a subject of one of our many securities industry sales practice abuse investigations. Osvaldo Gutierrez Customer Complaint Osvaldo Gutierrez has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that she was misled regarding the fees and expenses associated with a variable annuity she purchased. Customer further alleged that the financial information on the application was inaccurate. Customer requested the cancellation of the policy without penalty. Osvaldo Gutierrez’s customer complaint was denied and, to date, the customer has not taken any further action. Osvaldo Gutierrez Red Flags & Your Rights As An Investor Of course, Osvaldo Gutierrez did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Osvaldo Gutierrez at NYLIFE Securities on alert to review carefully the activity and performance of their accounts and question whether Osvaldo Gutierrez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLIFE Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At NYLIFE Securities Due To Osvaldo Gutierrez If you have questions about NYLIFE Securities and/or Osvaldo Gutierrez and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Matthew Harris of National Securities

DID MATTHEW SCOTT HARRIS CAUSE YOU INVESTMENT LOSSES? Matthew Harris Of National Securities And National Asset Management Has A Customer Complaint For Alleged Broker Misconduct Who is Matthew Harris of National Securities? Matthew Harris (CRD #4581807) who is currently registered with National Securities, National Asset Management and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Matthew Harris Customer Complaint Matthew Harris has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty, negligence. The customer complaint filed against Matthew Harris’ current employer National Securities for investment losses caused by the alleged misconduct is pending as of the date of this report. Matthew Harris Red Flags & Your Rights As An Investor Of course, Matthew Harris did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Matthew Harris at National Securities and National Asset Management on alert to review carefully the activity and performance of their accounts and question whether Matthew Harris has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities and National Asset Management also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At National Securities Due To Matthew Harris If you have questions about National Securities, National Asset Management, and/or Matthew Harris and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Neil Gavande Formerly With Morgan Stanley

DID NEIL SAMPAT GAVANDE CAUSE YOU INVESTMENT LOSSES? Neil Gavande Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Neil Gavande formerly with Morgan Stanley? Neil Gavande (CRD #4464545) who was formerly registered with Morgan Stanley and located in Palo Alto, California is a subject of one of our many securities industry sales practice abuse investigations. Neil Gavande Customer Complaints Neil Gavande has been the subject of 3 customer complaints that we know about. Two of Neil Gavande’s 3 customer complaints were settled in favor of investors. One of Neil Gavande’s customers complaints was denied and, to date, the customer has not taken any further action. Allegations Against Neil Gavande A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that her instructions to liquidate her accounts were not followed by Neil Gavande. Client alleged, inter alia, unsuitability with respect to investments by Neil Gavande. The client’s attorney alleged that the investment that Neil Gavande placed his client in was not suitable as it was a risky investment. The client’s attorney further alleged that Mr. Gavande failed to disclose all of the information relative to this investment. Neil Gavande Red Flags & Your Rights As An Investor Of course, Neil Gavande did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Neil Gavande at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Neil Gavande has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Neil Gavande If you have questions about Morgan Stanley and/or Neil Gavande and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Robert Genito Formerly With PFS Investments

DID ROBERT FREDERICK GENITO CAUSE YOU INVESTMENT LOSSES? Robert Genito Formerly With PFS Investments Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Genito formerly with PFS Investments? Robert Genito (CRD #4760338) who was formerly registered with PFS Investments and located in Bonita Springs, Florida is a subject of one of our many securities industry sales practice abuse investigations. Robert Genito was also the subject of a FINRA investigation into whether he was engaging in or outside business activities.  According to FINRA, he refused to cooperate with its investigation and instead consented to the sanction and entry of findings that he refused to appear for a FINRA on-the-record testimony requested in connection with its investigation and the sanction of a permanent bar from any further association with any member firm in any capacity. Robert Genito Customer Complaints Robert Genito has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Genito’s 3 customer complaints was settled in favor of investors. There are currently two pending customer complaints filed against PFS Investments for investment losses caused by Robert Genito’s alleged misconduct. Allegations Against Robert Genito A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Clients alleged that the variable annuity investment Robert Genito recommended was not a suitable investment. Customer alleged Robert Genito failed to repay a promissory note issued to customer for the benefit of Mr. Genito’s outside business. Robert Genito Red Flags & Your Rights As An Investor Of course, Robert Genito did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Genito at PFS Investments on alert to review carefully the activity and performance of their accounts and question whether Robert Genito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PFS Investments also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At PFS Investments Due To Robert Genito If you have questions about PFS Investments and/or Robert Genito and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Dillon George of Equitable Advisors

DID DILLON DEAN GEORGE CAUSE YOU INVESTMENT LOSSES? Dillon George Of Equitable Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Dillon George of Equitable Advisors? Dillon George (CRD #4877790) who is currently registered with Equitable Advisors and located in Chattanooga, Tennessee is a subject of one of our many securities industry sales practice abuse investigations. Dillon George Customer Complaint Dillon George has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that Dillon George sold her an unsuitable annuity and did not disclose the fees and charges associated with the policy. Dillon George’s customer complaint was denied and, to date, the customer has not taken any further action. Dillon George Red Flags & Your Rights As An Investor Of course, Dillon George did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dillon George at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Dillon George has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors Due To Dillon George If you have questions about Equitable Advisors and/or Dillon George and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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